Let’s admit that it’s hard to predict what will happen in 2018 after last year’s wild ride. Yet we have heard experts offer that the ...
There’s nothing like the turning of the calendar to give one thoughts of what to achieve in the New Year. We asked your peers ...
SEC Chairman Jay Clayton invited comments on what his agency should do regarding a uniform fiduciary duty standard and the industry has responded in waves ...
In yet another sign of growing regulator interest in the murky world of digital currencies, the CFTC requests comments on how it may interpret “actual ...
Marc Broidy, 43, may have grown up in luxury in Beverly Hills, Calif., but he’s going to have to get used to lesser accommodations after ...
Cybersecurity is one of the top risks facing broker-dealers, according to a new report on FINRA examination findings released Dec. 8 by the SRO (BD ...
FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the start of ...
Only one type of PE fund adviser tends to use its funds to pay to cover SEC RIA registration as well as related compliance costs. ...
Multiple compliance backstops were in place at hedge fund adviser Brahman Capital Corp. to safeguard confidential information. Despite the firm’s written P&Ps, code of ethics, ...
Nobody likes the rules covering outside business activities or private securities transactions. FINRA is conducting a review with an eye toward making changes (BD Watch, ...